Thomas A. Marik

FEDERATED INVESTMENT COUNSELING

Bellville, TX

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CRD#: 3134275

Professional summary

Thomas Andrew Marik, CIMA® is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Bellville, Texas and FEDERATED SECURITIES CORP. located in Bellville, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FROM 6/2024 TO PRESENT, CEO/PRESIDENT AT LOS NINO'S PRESERVE HOLDINGS, LLC, 1217 WEST MAIN STREET, BELVILLE, TX 77418. ACTIVITY IS NOT PERFORMED DURING TRADING HOURS AND IS NOT INVESTMENT RELATED. TIME SPENT IS APPROXIMATELY 2 HOURS PER MONTH. FROM 3/2024 TO PRESENT, LEAD/CEO/PRESIDENT OF CASA DEL MAR POC HOLDINGS, LLC AT 1217 W. MAIN STREET, BELLVILLE, TX 77418. DUTIES ARE NOT PERFORMED DURING TRADING HOURS AND ARE NOT INVESTMENT RELATED. TIME SPENT IS APPROXIMATELY 2 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Marik's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779

RIA

CRD#: 5009

Pittsburgh, PA

Past

July 23, 2007 - April 9, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

SUGAR LAND, TX

Past

July 23, 2007 - April 9, 2008

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

July 4, 2005 - July 17, 2007

AIM PRIVATE ASSET MANAGEMENT

RIA

CRD#: 109264

HOUSTON, TX

Past

December 11, 1998 - July 17, 2007

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FEDERATED INVESTMENT COUNSELING

FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Illinois
(10/14/2022)

IAR

Massachusetts
(5/12/2010)

New Mexico
(1/4/2018)

IAR

New York
(8/5/2021)

IAR

Pennsylvania
(6/25/2008)

Texas
(6/24/2008)

IAR

Texas
(6/24/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/2/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

Phone number

(412) 288-1900

Established

Firm type

Fiscal year end

# of Employees

213

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIC SUMMARY OF CHANGES (3/14/2025)

2025 FIC FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	8,579
AUM (Assets Under Management)	$ 199,641,239,415

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/11/2023	Cover Page	Report
07/29/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas A. Marik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Marik's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEDERATED SECURITIES CORP.

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

FEDERATED SECURITIES CORP.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

AIM PRIVATE ASSET MANAGEMENT

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

FEDERATED INVESTMENT COUNSELING

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2005

Series 63

Date: 10/2/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/28/2006

Series 6

Date: 12/7/1998

Series 26

Date: 7/2/2002

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FEDERATED INVESTMENT COUNSELING

TRUST BUT VERIFY

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